4430 chief compliance officer jobs found

Mesa is on a mission to make homeownership more affordable and rewarding. Led by a world-class team of repeat founders and fintech operators from Uber, Amex, Robinhood, Capital One, BILT, Cash App, Square, Zillow, LendingTree, and Spotify, they are creating the homeowner membership category. They are backed by some of the best investors in the world and are looking for world-class talent to join their team. The Role Chief Compliance Officer We are seeking a highly skilled and experienced Chief Compliance Officer to join our dynamic team. The Chief Compliance Officer will play a critical role in ensuring that our organization adheres to all relevant laws, regulations, and industry standards while maintaining a culture of integrity and ethical behavior. How you’ll make an impact Develop, implement, and maintain comprehensive compliance policies, procedures, and controls to mitigate regulatory and operational risks. Conduct regular compliance monitoring and...

Overview Compound Planning, an SEC registered investment advisor with over $2.2B in AUM, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform. We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey. What you'll do Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program. Experience to operate with...

Overview Compound Planning, an SEC registered investment advisor with over $2.2B in AUM, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform. We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey. What you'll do Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program. Experience to operate with...

Overview Compound Planning, an SEC registered investment advisor with over $2.2B in AUM, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform. We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey. What you'll do Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program. Experience to operate with...

Overview Compound Planning, an SEC registered investment advisor with over $2.2B in AUM, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform. We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey. What you'll do Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program. Experience to operate with...

Overview Compound Planning, with over $1B AUM added since 2022, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform. We are hiring an experienced executive to be our general counsel and chief compliance officer. In this dual role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also providing strategic legal counsel to support our business objectives. You know the wealth management industry is ripe for change, and you want to be part of the journey. What you'll do Take full ownership of our compliance program with the aid of our outside compliance consultants to maintain a best-in-class and proactive compliance program. Operate with little dependence on outside...

Oxford Financial Group is hiring a Chief Compliance Officer to be located in one of the following offices: Atlanta, Chicago, Cincinnati or Indianapolis. Position Summary: The Chief Compliance Officer ("CCO") is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC ("Oxford") and the commodity pool operator. This role is key to ensuring Oxford complies with SEC regulatory rules and to lead the compliance team in its activities. The CCO is responsible for the execution of an oversight and monitoring program, the risk assessment process; the preparation of compliance related communications, training, policies and procedures; and the preparation of committee and management reports. This role advises on corporate projects and marketing materials. This individual is also responsible for all SEC filings which includes but is not limited to U4s, U5s, ADV Part 1, ADV Part 2B and ADV Part 3. The person who is in this role may also serve as a BSA...

Overview Compound Planning, an SEC registered investment advisor with over $2.2B in AUM, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform. We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey. What you'll do Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program. Experience to operate with...

The Chief Compliance Officer and Head of Regulatory will lead CLEAR's Compliance and Regulatory teams within Legal while working with teams across the company to build products and programs consistent with global laws and regulations. What you'll do: Oversee an effective compliance program per DOJ and SEC guidance, including, e.g., internal investigations and reporting; anti-bribery and anti-corruption program controls and training; and other aspects of doing business with integrity and in accordance with evolving laws and regulations Provide practical legal guidance to the business on regulatory matters locally, nationally and internationally as a subject matter expert on existing and evolving regulatory frameworks, including the ongoing monitoring and tracking of trends, enforcement, and public policy Design and implement effective compliance and regulatory strategies, policies, and procedures to drive company results while meeting legal requirements and customer...

Introduction Chief Compliance Officer(Program Manager I) Office of External Affairs (Baltimore) Position is Open Until Filled Salary Range: Grade 19 - $85,168 - $111,505 (depending on experience and qualifications) This is a Management Service position and serves at the pleasure of the Appointing Authority ("at-will"). The Maryland Department of General Services (DGS) supports State and local government agencies, as well as local non-profit organizations and the citizens of Maryland, by providing facilities management, real estate and surplus property services, as well as security and law enforcement for State buildings. DGS is also responsible for a full spectrum of facilities engineering, design and construction services, almost $1 billion in annual contract administration, and overseeing the State procurement process. Here at DGS, we truly Do Great Service... Consider joining our team! GRADE 19 LOCATION OF POSITION This recruitment will be used...

Overview Compound Planning, an SEC registered investment advisor with over $2.2B in AUM, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform. We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey. What you'll do Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program. Experience to operate with...

Overview Compound Planning, an SEC registered investment advisor with over $2.2B in AUM, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform. We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey. What you'll do Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program. Experience to operate with...

Chief Compliance Officer HUB Capital Canada At HUB Capital, we pride ourselves on fostering an environment dedicated to professional growth and client-centric values. As part of the HUB International family, we specialize in offering tailored financial solutions, empowering our clients across Canada to achieve their long-term goals through our network of independent financial advisors. Our commitment to excellence extends beyond delivering top-tier products - it encompasses a culture that values collaboration, innovation, and continuous learning. We are Proud to Offer: Customizable flexible benefits options for you and your family Company matching RRSP contributions Comprehensive tuition financing and career-related training and development Work-life balance through flexible scheduling and hours Mental and physical wellness initiatives Advancement opportunities HUB Cares: as a company that gives back and is active in the community Learn more about HUB's Culture...

Overview Compound Planning, an SEC registered investment advisor with over $2.2B in AUM, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform. We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey. What you'll do Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program. Experience to operate with...

Overview Compound Planning, an SEC registered investment advisor with over $2.2B in AUM, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform. We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey. What you'll do Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program. Experience to operate with...

THE FIRM Family focused since 1990, Matter serves clients nationwide from our offices in St. Louis, Denver, and Dallas. Our associates combine Investment Management, Wealth Planning and Coordination, and Family Culture and Learning services to build solutions reflecting the needs, perspectives and objectives of each family. We encourage you to consult our website (www.matterfamilyoffice.com) to learn more about how we are reshaping the way families manage their wealth. YOUR QUALIFICATIONS: More than 10 years of experience in wealth management industry required, focused on operations and compliance, and possessing a deep understanding of the operational and compliance functions required in an RIA environment. Bachelor's degree in business administration, Finance or related field, advanced degrees, or certifications (e.g., JD, IACCP) are preferred. Excellent proficiency in Microsoft Office Suite and other commonly used business software; comfortable learning and developing...

Job Summary Job Description WHAT IS THE OPPORTUNITY? The US Compliance team is searching for a dynamic individual to lead the RBC Bank GA Compliance team. In the role as Chief Compliance Officer of RBC Bank GA (CCO), you will partner with the RBC-US Chief Compliance Officer and together will be responsible for implementing an effective compliance program that adheres to the framework, policies and standards of the parent company, one that fulfills the needs of the company including managing risk within Board-approved appetite. The CCO is responsible for leading teams of compliance professionals aligned to the core banking products and associated operations, with an emphasis on deposit and lending activities as well as other services offered. You will partner with the RBC Practices team to ensure program requirements are understood, implemented, and effectively executed. You will be responsible for ensuring all issues that impact compliance remain on path to on-time and...

Evergreen Services Group is a San Francisco based holding company that acquires and operates B2B services companies across North America. Since its founding in late 2017, Evergreen has completed 100+ acquisitions across Managed IT Services, Cybersecurity, Financial Software and Government Services. We are driven by a people first mission to marry capital allocation with inspired operations, thus creating North America's best home for businesses. The Evergreen holding company team is comprised of 35+ professionals based in San Francisco who are focused on capital allocation, M&A, executive level hiring, strategic board leadership, and finance and accounting. Evergreen is a uniquely long-term oriented holding company that seeks to hold and grow businesses indefinitely rather than follow the 5-7 year holding period of a typical private equity fund. This allows us to take a truly long-term view on performance and people. Evergreen is backed by Alpine Investors, a leading private...

Job Classification: Corporate - Legal and Compliance This role serves as the Chief Compliance Officer ("CCO" or "Fund CCO") for Prudential Mutual Funds (retail mutual funds, insurance funds, alternatives) and PMFS (transfer agent). In this capacity, the Fund CCO will have reporting line in to the VP Compliance, PGIM Investments CCO and to each of the three Fund Boards of PGIM mutual fund families. The individual in this role works closely with and supervises the mutual fund compliance team and the due diligence team responsible for compliance coverage across Prudential's businesses that rely on affiliated and unaffiliated subadvisers. The Fund CCO may also lead a portion of the PGIM Investments global compliance team which provides specialized, centralized support to various fund platforms and business units across PGIM Investments global footprint. PGIM Investments ("PI") has a mutual funds business which focuses on traditional mutual funds and separately managed accounts. PI...

Overview Compound Planning, an SEC registered investment advisor with over $2.2B in AUM, is a high growth digital family office for entrepreneurs, professionals, and retirees. We're a team of seasoned financial advisors, technologists, tax professionals, and operators delivering a magical experience to clients powered by our world class team, holistic approach, and proprietary digital platform. We are hiring an experienced executive to be our Chief Compliance Officer. In this role, you will play a crucial part in ensuring the company's compliance with regulatory requirements while also participating with leadership in moving our strategic plan forward. You know the wealth management industry is ripe for change, and you want to be part of the journey. What you'll do Take full ownership of our compliance program with the aid of our General Counsel and outside compliance resources to maintain a best-in-class and proactive compliance program. Experience to operate with...